United States v. Brent Paul Swanson

943 F.2d 1070, 91 Cal. Daily Op. Serv. 6907, 91 Daily Journal DAR 10493, 1991 U.S. App. LEXIS 19734, 1991 WL 163657
CourtCourt of Appeals for the Ninth Circuit
DecidedAugust 27, 1991
Docket90-10085
StatusPublished
Cited by327 cases

This text of 943 F.2d 1070 (United States v. Brent Paul Swanson) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Brent Paul Swanson, 943 F.2d 1070, 91 Cal. Daily Op. Serv. 6907, 91 Daily Journal DAR 10493, 1991 U.S. App. LEXIS 19734, 1991 WL 163657 (9th Cir. 1991).

Opinions

ALARCON, Circuit Judge:

Brent Paul Swanson appeals from his conviction and sentence for bank robbery. We must decide whether a court appointed defense counsel’s concession, during closing argument, that no reasonable doubt exists regarding the only factual issues in dispute, constitutes a deprivation of the right to due process and the effective assistance of counsel that is prejudicial per se. We conclude that we must reverse because counsel’s abandonment of his client’s defense caused a breakdown in our adversarial system of justice.

PERTINENT FACTS

On February 22, 1989, Swanson was indicted on one count of bank robbery, pursuant to 18 U.S.C. § 2113(a). Swanson initially pleaded guilty on April 17, 1989. Swanson made a motion to withdraw his plea of guilty after reading the recommendation in the presentence report that he should be sentenced as a career offender. The motion was granted and the court selected a date for a trial by jury.

The jury trial commenced on July 25, 1989. Swanson was represented at trial by David Ochoa, who was appointed by the trial court under the Criminal Justice Act. 18 U.S.C. § 3006A(b). Mr. Ochoa rested after the close of the Government’s case in chief, without calling any defense witnesses.

Before counsel presented their arguments, the trial court gave the jury instructions to assist it in considering the evidence in the case. The jury was admonished that “[t]he Government has the burden of proving every element of a charge beyond a reasonable doubt. If it fails to do so, you must return a not guilty verdict as to the charge.” The Government concluded its opening argument by stating, “[bjased on all [the] evidence, the Government has proven to you beyond any reasonable doubt that Mr. Swanson robbed Citibank on January 20th, 1989.”

Mr. Ochoa began his argument by stating that it is a defense attorney’s “job” to make the Government prove its case beyond a reasonable doubt. Mr. Ochoa told the jurors that in this country a person has a right to stand by his plea of not guilty. Mr. Ochoa then stated that the evidence against Swanson was overwhelming and that he was not going to insult the jurors’ intelligence.

Prior to discussing the inconsistencies in the testimony of the Government’s identification witnesses, Mr. Ochoa stated, “[ajgain in this case, I don’t think it really overall comes to the level of raising reasonable doubt.” After pointing out that the witnesses had varied in their recollection of the length of time the perpetrator was in the bank, Mr. Ochoa told the jury, “the only reason I point this out, not because I am trying to raise reasonable doubt now, because again I don’t want to insult your intelligence_” He concluded his argument by telling the jurors that if they found Swanson guilty they should not “ever look back” and agonize regarding whether they had done the right thing.1

[1072]*1072 DISCUSSION

Swanson contends that he was denied his right to the effective assistance of counsel because his court appointed attorney conceded in his argument to the jury that there was no reasonable doubt regarding the only factual issues in dispute. “Whether a defendant received ineffective assistance of counsel is a legal question reviewed de novo.” Smith v. Ylst, 826 F.2d 872, 875 (9th Cir.1987), cert. denied, 488 U.S. 829, 109 S.Ct. 83, 102 L.Ed.2d 59 (1988).

The sixth amendment provides that “[i]n all criminal prosecutions, the accused shall enjoy the right ... to have the Assistance of Counsel for his defence.” The Supreme Court has instructed that “[t]he Sixth Amendment recognizes the right to the assistance of counsel because it envisions counsel’s playing a role that is critical to the ability of the adversarial system to produce just results.” Strickland v. Washington, 466 U.S. 668, 685, 104 S.Ct. 2052, 2063, 80 L.Ed.2d 674 (1984).

Although ineffective assistance of counsel claims are frequently presented in collateral attacks on judgments in criminal matters, we are not prevented from considering such contentions on direct appeal where “the record is sufficiently complete to allow us to decide the issue.” United States v. O’Neal, 910 F.2d 663, 668 (9th Cir.1990). Where the record on appeal is not adequate to determine whether there has been a deprivation of the sixth amendment’s protection, “[t]he customary procedure for challenging the effectiveness of defense counsel in a federal criminal trial is by collateral attack on the conviction under 28 U.S.C. § 2255.” United States v. Birges, 723 F.2d 666, 670 (9th Cir.), cert. denied, 466 U.S. 943, 104 S.Ct. 1926, 80 L.Ed.2d 472 (1984). In a habeas corpus proceeding, the petitioner may present facts that are not reflected in a record of the proceedings of a trial on the issue of guilt. United States v. Sanclemente-Bejarano, 861 F.2d 206, 211 (9th Cir.1988); United States v. Kazni, 576 F.2d 238, 242 (9th Cir.1978). In pursuing his claim of ineffectiveness of counsel, Swanson relies solely on the reported statements made by Mr. Ochoa during final argument. Accordingly, the record is sufficient for a review of the merits of Swanson’s constitutional claim on this direct appeal. Under these circumstances, we are required to resolve the effectiveness of counsel claim now. There is no reason to delay resolution of this issue in this matter for the presentation of facts outside the trial record.

The Government argues that Swanson’s ineffective assistance of counsel claim must fail because there is no showing that Mr. Ochoa’s closing argument was prejudicial under the test established by the Supreme Court in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). In Strickland, the Court held that a defendant is required to show (1) deficient performance by counsel, and (2) prejudice to the defense. Id. at 687, 104 S.Ct. at 2064. In United States v. Cronic, 466 U.S. 648, 104 S.Ct. 2039, 80 L.Ed.2d 657 (1984), decided on the same date as Strickland, “the Supreme Court created an exception to the Strickland standard for ineffective assistance of counsel and acknowledged that certain circumstances are so egregiously prejudicial that ineffective assistance of counsel will be presumed.” Stano v. Dugger, 921 F.2d 1125, 1152 (11th Cir.1991) (en banc) (citing Cronic, 466 U.S. at 658, 104 S.Ct. at 2046). “Cronic presumes prejudice where there has been an actual breakdown in the adversarial process at trial.” Toomey v. Bunnell, 898 F.2d 741, 744 n. 2 (9th Cir.), cert. denied, — U.S. -, 111 S.Ct. 390, 112 L.Ed.2d 400 (1990). In Cronic, the Supreme Court stated:

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943 F.2d 1070, 91 Cal. Daily Op. Serv. 6907, 91 Daily Journal DAR 10493, 1991 U.S. App. LEXIS 19734, 1991 WL 163657, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-brent-paul-swanson-ca9-1991.